What kevin rowe does

Compliance.Network is a private compliance consulting firm headquartered in South Florida, founded in 2014, that provides regulatory compliance support to US and Latin American financial institutions. The firm serves four primary client verticals: Investment Advisors, Broker-Dealers, Futures/Forex/CTA/CPO entities, and Banking/Private Wealth Management firms. Its core service offering includes pre-audit assessments, mock regulatory examinations, and ongoing compliance program management, with a distinct positioning around Latin American institutions seeking entry into the US market through an established international partner network.

The firm's underlying delivery model is traditional professional services engagement rather than a proprietary technology platform. No software products, AI/ML capabilities, or platform architecture are disclosed; the firm relies on industry-standard compliance tools and methodologies. Pricing is engagement-based and quote-driven, with a free initial assessment used as a lead-generation mechanism to lower client acquisition friction. The go-to-market model is sales-led, relying on direct outreach, referrals, and industry events rather than inbound digital channels or channel partnerships.

Compliance.Network operates without external funding, parent company, M&A history, or disclosed partnerships beyond its international referral network. There are no disclosed awards, patents, leadership team details beyond the principal, or headcount figures. The business model is consistent with a solo practitioner or small boutique consultancy: billable consulting hours against regulatory compliance mandates, with revenue tied to examination cycles, regulatory changes, and institutional onboarding workflows rather than recurring SaaS contracts.

Name

kevin rowe

Legal name

Compliance.Network

Website

https://compliance.network

Company type

Private

Founded year

2014

Operating status

Operating

Short description

Compliance.Network is a private South Florida-based compliance consulting firm, founded in 2014, that provides pre-audit assessments, mock examinations, and ongoing compliance program management to Investment Advisors, Broker-Dealers, Futures/Forex firms, and Banking/Wealth Management institutions, with a focus on Latin American firms entering the US market.

Ownership category

akta.pro rank

Product category

Regulatory Compliance Consulting

NAICS

Management, Scientific, and Technical Consulting Services (5416)

SIC

Finance Services (6199)

akta.pro primary industry

Regulatory Compliance Advisory (BPAHAFAB)

akta.pro secondary industry

Financial Crime, AML/CFT & Sanctions Compliance (BPAHAFAE)

Keywords

• Regulatory compliance consulting
• Financial compliance services
• SEC compliance support
• FINRA examination preparation
• AML compliance testing

Headquarters

HQ city

South Florida

HQ country

United States

HQ region

North America

Offices1 record

Markets served

GTM type

B2B

Offering type

Services

Cost components

Personnel, Operations, Marketing or Sales

Revenue model

1. Compliance Consulting Services: Professional consulting services providing regulatory compliance support, pre-audit assessments, mock examinations, and ongoing compliance program management for financial institutions. Revenue is generated through billable consulting engagements with customized service packages based on client needs and scope.

Go-to-market motion1 record

Distribution channels1 record

Marketing channels2 records

Core offering

Compliance.Network provides regulatory compliance consulting and audit preparation services for financial institutions. The firm offers specialized services including Pre-Audit Assessments, Mock Examinations, ongoing compliance program management, AML/KYC support, examination preparation, and regulatory advisory services across investment advisors, broker-dealers, futures/forex/CTA/CPO firms, and banking/private wealth management institutions. Services target primarily Latin American financial institutions seeking US market presence.

Product overview

Compliance.Network offers a comprehensive suite of financial compliance consulting services delivered through distinct practice areas. The company provides specialized services for Investment Advisors (including WebCRD/IARD administration and SEC compliance), Broker-Dealers (examination support and AML testing), Futures/Forex/CTA/CPO entities (registration and exemption monitoring), and Banking/Private Wealth Management clients (AML gap analyses and transaction monitoring). Services also include Pre-Audit Assessments and Mock Examinations to prepare clients for regulatory examinations. The company leverages academic preparation in SEA Adherence and Compliance Operations Management to deliver practical, solutions-based compliance support across the financial services industry.

Differentiator

Problem solved

Functional benefit

Products and services

• Investment Advisor Compliance Services Comprehensive compliance consulting services for registered investment advisors including WebCRD Administration, IARD administration, procedure compliance testing, ADV Part 1 and Part 2 Administration, Pre-Audit Assessments, Customized Compliance Support, Code of Ethics and Procedures, Cyber Security Assessments, and SEC Rule 206(4)-7 Audit support. Targeted at investment advisory firms requiring SEC compliance and examination preparation.
• Broker-Dealer Compliance Services Comprehensive compliance support for broker-dealers including Examination Support, Supervisory Procedure development and customization, Firm Element Continuing Education, business continuity and disaster recovery plans, CEO Certification and Testing, Cyber Security Assessments, AML Independent Testing, FINOP services, and accounting services. Targeted at broker-dealer firms requiring FINRA compliance and AML program testing.
• Futures / Forex / CTA / CPO Compliance Services Compliance solutions for futures, forex, Commodity Trading Advisors (CTA), and Commodity Pool Operators (CPO) including policies and procedures development, Pre-Audit Assessments, BASIC Administration, compliance support services, CPO and CTA exemption monitoring, Cyber Security Assessments, registration testing materials, and ethics training. Targeted at commodity trading firms requiring CFTC regulatory compliance.
• Banking Private Wealth Management Compliance Services Compliance and risk management services for banking and private wealth management including policies and procedures, best practices assessment, vulnerability assessment, risk and AML gap analyses and remediation, enhanced due diligence, customer identification program, PEPs and high-risk situation management, country escalation assessments, product offering and suitability review, transactions monitoring design/reporting/escalation/testing, and Cyber Security Assessments. Targeted at private banking and wealth management institutions requiring comprehensive AML/KYC programs.
• Pre-Audit Assessments and Mock Examinations Pre-examination preparation services including Pre-Audit Assessments and Mock Examinations conducted in advance of State or Regulatory Examinations. This process provides firms with the opportunity to begin the remediation process, limiting exposure to burdensome fines and the stress that comes with regulatory scrutiny. Available to all client types across all practice areas.

Quantifiable outcome

• Limited exposure to burdensome fines through pre-audit assessments and remediation process
• +1 more outcomes

Segments4 records

Ideal customer profiles1 record

Technology focussed No

API detail

Has API

No

API docs

API detail

Core technology

AI maturity

App detail

Scale indicators1 record

Recent moves4 records

Expansion highlights4 records

Direct peers

• ACA Compliance Group: ACA is one of the largest independent financial-services compliance advisory firms in the US, serving investment advisers, broker-dealers, private fund advisers, and banks with consulting, regulatory technology, and managed services — directly overlapping Compliance.Network's core offerings across investment adviser and broker-dealer compliance.
• National Regulatory Services (NRS): NRS provides compliance consulting, registration, and education services to investment advisers, broker-dealers, and insurance producers, including WebCRD/IARD administration support and continuing education — a close match for Compliance.Network's investment adviser and broker-dealer service lines.
• Cipperman Compliance Services: Cipperman is a boutique compliance consulting firm focused on investment advisers and private fund advisers, offering mock SEC exams, compliance program development, and ongoing advisory — directly comparable to Compliance.Network's investment adviser practice.
• Core Compliance & Legal Services: Core Compliance & Legal Services provides outsourced CCO, mock audits, and regulatory exam preparation for RIAs and broker-dealers — closely overlapping Compliance.Network's pre-audit assessment and ongoing compliance support offerings.
• AML RightSource: AML RightSource is a leading provider of AML/KYC consulting, transaction monitoring, and enhanced due diligence for financial institutions, directly comparable to Compliance.Network's Banking/Private Wealth Management AML gap analysis and transaction monitoring services.
• Treliant: Treliant is a financial-services-focused consulting firm delivering risk, compliance, and regulatory advisory to banks, broker-dealers, and fintechs — a comparable peer in regulatory advisory though typically serving larger enterprise clients.

Broad incumbents

• Wolters Kluwer Compliance Solutions: Wolters Kluwer offers a broad portfolio of compliance software and services for broker-dealers, RIAs, and banks — overlapping Compliance.Network's service areas but as a much larger, technology-enabled incumbent.
• Kroll: Kroll provides risk, regulatory, and compliance advisory across financial services and beyond, including AML, sanctions, and examination-readiness work — comparable in capability but operating at a much larger, broader scale than Compliance.Network.

Market position

Strengths4 records

Weaknesses4 records

Competitive moat3 records

Key risks5 records

Key highlights6 records

Customer concentration

Revenue estimate

Valuation estimate

Number of profiles

Funding overview

Funding rounds

Investors

Funding detail is available on the Subscription and Enterprise plan.Contact sales →

M&A

Investments

M&A and investment is available on the Subscription and Enterprise plan.Contact sales →

Frequently asked questions about kevin rowe